DFX Intelligence

R•••••• W••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R•••••• W••••• M••••••••• L••

CRD 148284

ALPHARETTA, GA

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Search this name across graphsid dfx:ria:17fb926b-febd-dffc-fad4-5ab76898c09b

Data as of Nov 3, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 3
On other graphs: 1
Observed: Nov 10, 2011 to Nov 3, 2021
41 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

R•••••• W••••• M••••••••• L••

Intermediary · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $278M••• Locked
Discretionary RAUM: $278M
Private client RAUM: $278Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• S••••• M••••••	President	E	yes	06/2006	Nov 10, 2011	Nov 3, 2021
M••••• S••••• M••••••	PARTNER, CHIEF COMPLIANCE OFFICER (07/21/2008)	Na	yes	07/2008	Nov 10, 2011	Nov 3, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$278M	$240M	15.7%	$634M	-24.0%	7	8	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• F•••••••• A•••••••• L••	4	Dec 31, 2021	Jan 6, 2022	ALPHARETTA, GA	Firm absorbed	RIA to RIA	100.0%
B••••••• W••••• M••••••••• L••	2	Dec 31, 2019	Jan 21, 2020

Relationships

Controls (4)

← M••••• S••••• M••••••OwnerPRESIDENT, ownership code E, individual
Nov 10, 2011 to presentfactForm ADV
← S••••••••• L•••• A•••OwnerOWNER, ownership code E, individual
Nov 10, 2011 to presentfactForm ADV
← R•••••• F•••••••• S•••••••• I•••OwnerMEMBER, ownership code D, domestic entity
Nov 10, 2011 to presentfactForm ADV
← S••••••••• I•••••••••OwnerMEMBER, ownership code D, domestic entity
Nov 10, 2011 to presentfact

Dated events

Occurred
Mar 10, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-392M
Occurred
Jan 22, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 21, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17fb926b-febd-dffc-fad4-5ab76898c09b
First observed: Nov 10, 2011
Last observed: Nov 3, 2021 59 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.